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ENGAGEMENT POOL INTERNATIONAL
SUMMARY OF 2023 ACTIVITIES
Swiss Stewardship Code
PRINCIPLE 1 –
GOVERNANCE
PRINCIPLE 2 –
STEWARDSHIP
POLICIES
PRINCIPLE 3 – VOTING
PRINCIPLE 4 –
ENGAGEMENT
PRINCIPLE 5 –
ESCALATION
PRINCIPLE 6 –
MONITORING OF
INVESTEE ENTITIES
PRINCIPLE 7 –
DELEGATION OF
STEWARDSHIP
ACTIVITIES
PRINCIPLE 8 –
CONFLICTS OF
INTEREST
Consistent with their fiduciary duty to clients, investors and service providers integrate
stewardship into their investment management and/or working models with the objective
of creating long-term value for clients and other stakeholders. Board leadership,
appropriate oversight as well as regular review of governance practices are essential.
Investors and service providers develop effective stewardship policies which reflect the
principles for effective stewardship and are aligned with their goals and values.
Investors and service providers commit to active and informed voting with the goal of
fostering long-term sustainable value creation. Investors integrate effective voting
mechanisms into their investment process.
Investors and service providers engage in an active dialogue with investee entities with the
aim of generating long-term financial and societal value and of reaching positive and longterm
sustainable outcomes. Where necessary, investors collaborate with other investors to
increase engagement outcomes. Other stakeholders may be a partner in collaborative
engagements as they provide know-how, research and in some cases also specific
administrative services to asset managers and asset owners. Where possible and relevant,
investors should aim at engaging directly or indirectly in an active dialogue with relevant
public stakeholders and policymakers on issues that affect sustainable investment.
Investors and service providers, where necessary, escalate their stewardship activities
to encourage investee entities towards generating long-term financial, environmental, and
societal value and towards reaching positive and long-term sustainable outcomes.
Investors and service providers regularly monitor investee entities to track, assess and
review the effectiveness of their stewardship activities.
When delegating stewardship activities, investors ensure consistency of the dele- gated
activities with their own investment beliefs, stewardship policy and strategy. They remain
responsible and accountable for the effectiveness of the delegated activities.
Investors and service providers manage conflicts of interest in the best interests of their
clients. They assess their investment activities and the interests of their clients to detect
and suitably handle actual or potential conflicts of interest, disclosing these conflicts along
with the measures taken to mitigate them.
PRINCIPLE 9 –
TRANSPARENCY AND
REPORTING
Investors and service providers disclose and report their stewardship policies and activities
to their clients and beneficiaries in a way that demonstrates effective fulfilment of their
duties.
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